Registration Supervisor
Registration Supervisor
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Job Description
The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontarios capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The mandate of the OSC is to provide protection to investors from unfair improper or fraudulent practices to foster fair efficient and competitive capital markets and confidence in the capital markets to foster capital formation and to contribute to the stability of the financial system and the reduction of systemic risk. This mandate is performed through policy operational and enforcement activities. The OSC also contributes to national and global securities regulation development.
We offer a diverse fair and flexible work environment and take pride in our challenging and rewarding work.
Reporting to the Manager Registration the Supervisor Registration is responsible for supervising Registration Officers (ROs) and Registration Support Officers (RSOs) on the Registration Team within the Compliance & Registrant Regulation Branch. The Supervisor Registration provides advice and guidance on the registration function and oversees and engages in functions with external stakeholders.The Supervisor Registration has direct reports consisting of ROs and RSOs and is required to interface with the Manager Registration a lawyer and assistants.
In this role you will have the opportunity to:
Provides input and advice on Registration Team operations and improvements where appropriate.
Assists in identifying operational issues and emerging trends and patterns developing solutions to address issues and recommending improvements to processes and tools.
Plans and represents Branch interests at annual Road Shows and outreach activities with stakeholders aimed at driving efficiencies in the registration processes and nurturing OSCstakeholder feedback and relations. Reviews Branch performance and develops and recommends Branch positions.
Key Duties and Responsibilities
Operational Leadership
Leads ROs in their review of initial ongoing and surrender of registration applications for firms and individuals and permitted individual submissions which involves highvolume processing activity and actively managing complex files.
Provides advice and recommendations on risk assessments related to registration applications including complex and novel matters as well as on operational processes.
Leads and provides guidance on registrant and applicant due diligence assessment processes (e.g. background checks processes such as police and solvency background checks) including processes for checks pertaining to foreign jurisdictions and assessment of information as necessary.
Provides advice and recommendations regarding noncompliance and misconduct matters and facilitates referrals to other teams as necessary.
Planning and Development
Facilitates team understanding and implementation of goals and priorities and supervises and reports on progress and outcomes.
Participates in Registration Team projects and initiatives where appropriate.
Provides advice on resources timelines and solutions to the Manager Registration.
Quality & Risk Management
Facilitates the maintenance of service and quality standards for the registration process and advises on the effective allocation of resources.
Facilitates alignment with Branch priorities strategic plans and adherence to established policies practices and processes in order to monitor and evaluate results and identify opportunities for process/practice improvements.
Reviews registration file assessments and provides advice on recommended outcomes.
Staff Management
Supervises the daytoday activities of ROs and RSOs motivates and mentors team members communicates goals and objectives reviews and monitors productivity work quality and adherence to policies and practice standards.
Manages and controls the increasingly complex workload of ROs by setting priorities and reassigning work to ensure that it is processed in a timely manner.
Conducts performance reviews of ROs and RSOs identifies performance issues and areas of skill development coaching and training opportunities. Supports on performances issues as appropriate.
Works with Human Resources on staffing issues including recruitment processes and conducting job interviews.
Relationship/ Stakeholder Management
Represents Branch interests in communications and at inperson meetings with stakeholders on applicant due diligence assessment processes such as Registration as a First Compliance Reviews.
Presents Branch positions on suitability for registration where there may be competing interests (which may involve negative feedback) assesses stakeholder positions problem solves and reviews and advises on team reports and recommendations.
Collaborates with the Manager Registration to foster and build productive relationships with the registrant community other Branches Canadian Securities Administrators SROs and other internal/external stakeholders.
Qualifications
University degree or college diploma.
Minimum 5 years experience in the registration field with at least 2 years in a regulatory environment. National Registration Database experience an asset.
Working knowledge of Canadian securities regulatory environment including relevant legal financial business and compliance concepts.
Demonstrated leadership in a modern high performing work environment an asset.
Strong organizational skills with the ability to coach mentor guide and motivate a team.
Ability to interact professionally with external stakeholders on matters that have significant implications for stakeholders and investors. Ability to develop and foster relationships with stakeholders problem solve and diffuse challenging situations.
Strong communication presentation problem solving and critical thinking skills.
Thinking proactively: Demonstrates initiative by using professional expertise to anticipate and mitigate business problems.
Aligns behaviour to organizational values.
Strong project management skills.
Grow your career and make a difference working at the OSC.
* OSC Employees: please apply in Workday using the Browse Jobs feature within your Jobs Hub *
We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.
The OSC is committed to diversity and providing an inclusive workplace and providing accommodation in accordance with the Accessibility for Ontarians with Disabilities Act and the Human Rights Code. It is our priority to ensure employment opportunities are visible and barrierfree to all underrepresented groups including but not limited to Indigenous Black and racialized groups people with disabilities women and people from the 2SLGBTQI community to achieve an employee demographic profile reflective of the demographic profile of Ontarians.
The OSC is a proud partner with the following organizations: Ascend Canada BlackNorth Initiative Canadian Centre for Diversity and Inclusion and Pride at Work Canada
If you require an accommodationduringthe recruitment process please let us know by contacting our confidential inbox .
Required Experience:
Manager
Employment Type
Full-Time
